State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Dear Breakaway Broker: Know Your Employment Agreement(s)
By Chris StanleyWhether youre a rep, an RIA or an advisor employer, its wise to understand the legal issues around employment.
January 20, 2016
Pension funding fight at crescendo in deficit-stung New JerseyNew Jersey's Democrats are pushing a ballot measure that would require the state to fully fund workers' pensions.
January 15, 2016
New PPACA Medicaid enrollees not costing Feds as muchSpending on the new enrollees is 37 percent lower than the overall average.
January 15, 2016
Nevada exchange head: HealthCare.gov costs too muchBruce Gilbert says a multi-state exchange system Oregon is developing might be a better deal.
January 12, 2016
Feds shape Web broker battlegroundManagers of state-based exchanges have some ideas.
January 07, 2016
Patty Struck, Wisconsin Securities Administrator, DiesThe past NASAA president and board member is remembered for her "quiet, thoughtful leadership."
January 06, 2016
View: States have three new reasons to expand MedicaidThe authors say expansion helps hospitals spend more on improving care.
December 29, 2015
U.S. Investors Turn Risk Averse at Year-End: State Street SurveyThe State Street Investor Confidence Index finds global investors upbeat, unlike their North American counterparts